DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
C••••• W••••• A••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Nov 2, 2020 · 32 filings
SEC status approved since Dec 15, 2020
RAUM
$1.1B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
55%
$597M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
19
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.1B as of Mar 24, 2026
Mar 11, 2021$542M then
HNW client RAUM$511M as of Mar 24, 2026
Mar 11, 2021$264M then
State-registered IARs (5.B.3)11 as of Mar 24, 2026
Mar 11, 20215 then
Employees (5.A)19 as of Mar 24, 2026
Mar 11, 20218 then
Private funds: no history
RAUM +24% over the last fiscal year+22% a year over threeIARs 7 to 11
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $724,715derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 42%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +57%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $407M, 329 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$511M47%
- Pension and profit-sharing plans$428M40%
- Individuals$85.5M7.9%
- Corporations and businesses$30.3M2.8%
- Charitable organizations$25.7M2.4%
- Individual clients
- 212reported
- HNW clients
- 151reported
- Pension plan clients
- 128reported
- Charitable clients
- 15reported
- Accounts
- 1,491reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $407M for 329 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.55 fund_share=0.0 institutional_share=0.42 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• A••• G•••••Certified Financial Planner | Templeton, Ca | Dec 15, 2020 | 28 y | 3 |
| C•••••• J••• H•••••Certified Financial Planner, Chartered Financial Analyst | San Luis Obispo, Ca | Jan 12, 2021 | 10 y | 1 |
| S•••••••• C•••••••• K••• | Templeton, Ca | Jan 12, 2021 | 14 y | 1 |
| A••••• R••• S••••••Certified Financial Planner | Templeton, Ca | Jan 12, 2021 | 12 y | 1 |
| S•••••• W•••••• R•••• | San Luis Obispo, Ca | Apr 20, 2022 | 11 y | 0 |
| A•••••• L•• L•••••Certified Financial Planner | Templeton, Ca | Jul 11, 2024 | 10 y | 1 |
| K•••••• M•••••• | Templeton, Ca | Jul 25, 2025 | 11 y | 0 |
| T••••• D•••••••• | San Luis Obispo, Ca | Aug 19, 2025 | 11 y | 0 |
| B••••• C•••••• S••••••Certified Financial Planner | Templeton, Ca | Oct 23, 2025 | 11 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- B••••• C•••••• S•••••• from E• W••••• A•••••••Oct 23, 2025 · RIA to RIA
- A•••••• L•• L••••• from U•• F•••••••• S••••••• I•••Jul 11, 2024 · Wirehouse to independent RIA
- S•••••••• C•••••••• K••• from G••••• W••••• M••••••••• G••••• I•••Jan 12, 2021 · Other
- A••••• R••• S•••••• from G••••• W••••• M••••••••• G••••• I•••Jan 12, 2021 · Other
- C•••••• J••• H••••• from C•••••• F•••••••• P•••••••• L••Jan 12, 2021 · Other
- R••••• A••• G••••• from G••••• W••••• M••••••••• G••••• I•••Dec 15, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from G••••• W••••• M••••••••• G••••• I•••Mar 29, 2021 · Templeton, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• R•••••• A••• · Manager And Chief Compliance Officercontrolsince 10/2020 · owns less than 5%
- H•••••• C••••••• J••• · Manager And Chief Investment Officercontrolsince 10/2020 · owns less than 5%
- C••••• G••••••• N•• · Ownercontrolsince 01/2023 · owns F of J••• B•••• A•• B•••••• L••
- D•••••••• D•••••• · Trustee Of Rob A G••••• & D•••••• L D••••••• L••••• Trustcontrolsince 04/2006 · owns 50% to 75% of R•• A• G••••• • D•••••• L• D••••••• L••••• T•••• D•••• A•••• 1•• 2•••
- G•••••• R•••••• A••• · Trustee Of Rob A G••••• & D•••••• L D••••••• L••••• Trustcontrolsince 04/2006 · owns 50% to 75% of R•• A• G••••• • D•••••• L• D••••••• L••••• T•••• D•••• A•••• 1•• 2•••
- H•••••• C••••••• J••• · Trustee Of T•• C•••••• H••••• R•••••••• T••••• U•••• D•••• O•••••• 1•• 2•••controlsince 10/2017 · owns 75% or more of T•• C•••••• H••••• R•••••••• T••••• U•••• D•••• O•••••• 1•• 2•••
Entity owners
- C•••••• F•••••••• P•••••••• L•• · Owner Compliance Officerdirect · owns 10% to 25%
- G••••• W••••• M••••••••• G••••• I••• · Ownerdirect · owns 75% or more
- R•• A• G••••• • D•••••• L• D••••••• L••••• T•••• D•••• A•••• 1•• 2••• · Trustee Of Rob A G••••• & D•••••• L D••••••• L••••• Trustindirect · owns F of G••••• W••••• M••••••••• G••••• I•••
- T•• C•••••• H••••• R•••••••• T••••• U•••• D•••• O•••••• 1•• 2••• · Trustee Of T•• C•••••• H••••• R•••••••• T••••• U•••• D•••• O•••••• 1•• 2•••indirect · owns F of C•••••• F•••••••• P•••••••• L••
- J••• B•••• A•• B•••••• L•• · Ownerdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Templeton, Ca · principal | 9 | 1 | 0 | ||
| San Luis Obispo, Ca | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Luis Obispo, CA2 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 24, 2026G•••••• R•••••• A••• (MANAGER AND CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-03-28 and 2026-03-24peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 24, 2026C••••• G••••••• N•• (OWNER) left Schedule A between the filings of 2023-03-28 and 2026-03-24peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 24, 2026D•••••••• D•••••• (TRUSTEE OF ROB A G••••• & D•••••• L D••••••• L••••• TRUST) left Schedule A between the filings of 2023-03-28 and 2026-03-24peers: independent wealth managers, $1B to $5B (1,362)
- advisor count surgeChange between filings · filing Mar 24, 2026advisory representatives (Item 5.B.3) moved from 7.0 to 11.0 (+57.0%) between the annual amendments of 2025-03-30 and 2026-03-24; the peer median change was 0.0% (999 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (999) · 97% percentile
- employee count surgeChange between filings · filing Mar 24, 2026employees (Item 5.A) moved from 11.0 to 19.0 (+73.0%) between the annual amendments of 2025-03-30 and 2026-03-24; the peer median change was +4.0% (1050 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,050) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 1,320 to 1,491Jan 26, 2026 to Mar 24, 2026
- Advisory employees · 10 to 11Jan 26, 2026 to Mar 24, 2026
- Charity clients · 8 to 15Jan 26, 2026 to Mar 24, 2026
- HNW clients · 126 to 151Jan 26, 2026 to Mar 24, 2026
- Individual clients · 199 to 212Jan 26, 2026 to Mar 24, 2026
- Pension plan clients · 129 to 128Jan 26, 2026 to Mar 24, 2026
- Assets in custody · $378M to $407MJan 26, 2026 to Mar 24, 2026
- Employees · 15 to 19Jan 26, 2026 to Mar 24, 2026
- State-registered IARs · 10 to 11Jan 26, 2026 to Mar 24, 2026
- Discretionary RAUM · $812M to $1.0BJan 26, 2026 to Mar 24, 2026
- HNW RAUM · $403M to $511MJan 26, 2026 to Mar 24, 2026
- Individual RAUM · $76.5M to $85.5MJan 26, 2026 to Mar 24, 2026
- Non-discretionary RAUM · $59.0M to $78.0MJan 26, 2026 to Mar 24, 2026
- Pension RAUM · $343M to $428MJan 26, 2026 to Mar 24, 2026
- RAUM · $871M to $1.1BJan 26, 2026 to Mar 24, 2026
- Advisory employees · 8 to 10Nov 11, 2025 to Jan 26, 2026
- Employees · 12 to 15Nov 11, 2025 to Jan 26, 2026
- State-registered IARs · 8 to 10Nov 11, 2025 to Jan 26, 2026
- Advisory employees · 7 to 8May 13, 2025 to Jul 29, 2025
- Employees · 11 to 12May 13, 2025 to Jul 29, 2025
- Financial planning clients · 101-250 to 101-250May 13, 2025 to Jul 29, 2025
- State-registered IARs · 7 to 8May 13, 2025 to Jul 29, 2025
- Accounts · 1,207 to 1,320Jan 31, 2025 to Mar 30, 2025
- Charity clients · 10 to 8Jan 31, 2025 to Mar 30, 2025
- Corporate clients · 7 to 12Jan 31, 2025 to Mar 30, 2025
- HNW clients · 127 to 126Jan 31, 2025 to Mar 30, 2025
- Individual clients · 202 to 199Jan 31, 2025 to Mar 30, 2025
- Pension plan clients · 119 to 129Jan 31, 2025 to Mar 30, 2025
- Assets in custody · $287M to $378MJan 31, 2025 to Mar 30, 2025
- Discretionary RAUM · $680M to $812MJan 31, 2025 to Mar 30, 2025
- HNW RAUM · $341M to $403MJan 31, 2025 to Mar 30, 2025
- Individual RAUM · $73.2M to $76.5MJan 31, 2025 to Mar 30, 2025
- Non-discretionary RAUM · $40.9M to $59.0MJan 31, 2025 to Mar 30, 2025
- Pension RAUM · $274M to $343MJan 31, 2025 to Mar 30, 2025
- RAUM · $721M to $871MJan 31, 2025 to Mar 30, 2025
- Advisory employees · 8 to 7Aug 12, 2024 to Jan 31, 2025
- Employees · 12 to 11Aug 12, 2024 to Jan 31, 2025
- State-registered IARs · 8 to 7Aug 12, 2024 to Jan 31, 2025
- Advisory employees · 7 to 8Mar 26, 2024 to Aug 12, 2024
- Employees · 11 to 12Mar 26, 2024 to Aug 12, 2024
Signals
3 dated events
- Nmn G•••••• C•••• (Owner) appeared on Schedule A of C••••• W••••• A••••••• L••Mar 28, 2023 · Control person joined · fact
- G••••• D•••••• (Trustee Of Rob A G••••• & D•••••• L Donnelly Living Trust) appeared on Schedule A of C••••• W••••• A••••••• L••Dec 11, 2020 · Control person joined · fact
- C••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 2, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@corvuswealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-434-2608reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-559-2608reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-226-4123reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/corvus-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- corvuswealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-434-2608reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- corvuswealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- corvuswealth.com/about-us/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026